Securities Civil Remedies Finance & Banking

SEC Enforcement Actions Dodd-Frank Disgorgement Whistleblowers Whistleblower Awards Enforcement Settlement Insider Trading RMBS Citigroup Fraud CFTC Investment Adviser Securities Fraud Popular SEC v Citigroup Judge Rakoff SCOTUS UK Civil Monetary Penalty Compliance DOJ Hedge Funds Statute of Limitations Appeals Class Action Fiduciary Duty FINRA Securities Act of 1933 Securities Exchange Act Permanent Injunctions Breach of Duty Ponzi Scheme Risk Management Chevron Deference Collateralized Debt Obligations Interlocutory Appeals Mortgage-Backed Securities Broker-Dealer Consent Decrees Damages Derivatives Injunctions Investors Penalties Sarbanes-Oxley Securities Litigation Shareholders Swaps Trustees Bank of America CEA Corporate Counsel ERISA EU FCPA Injunctive Relief Investment Advisers Act of 1940 Misappropriation Position Limits Securities Banking Sector Board of Directors Breach of Contract Conflicts of Interest Credit Suisse DOL Financial Conduct Authority (FCA) Financial Sector FinCEN Misrepresentation Morgan Stanley Neither Admit Nor Deny Settlements Prejudgment Interest Preliminary Injunctions Sanctions White Collar Crimes Anti-Money Laundering Anti-Retaliation Provisions Attorney's Fees Cause of Action Accrual CEOs Clawbacks Commercial Bankruptcy Declaratory Relief Employer Liability Issues False Statements Financial Markets Financial Services Industry Financial Statements Fines FSMA Incentive Compensation JPMorgan Chase Liquidation Municipal Bonds Mutual Funds Pensions Punitive Damages Reporting Requirements Retaliation Securities Violations Summary Judgment Administrative Procedure Act Appraisal Australia Bernie Madoff Burden of Proof China Class Certification CMBS Criminal Prosecution Custody Rule Cy Pres Funds Deutsche Bank Directors Disclosure Requirements Equitable Relief ESOP Excessive Fees Financial Institutions Financial Regulatory Reform FIRREA Fund Managers Gabelli v SEC Goldman Sachs HM Treasury Internal Investigations Investment Fraud Investment Management Kokesh v SEC Mergers Merrill Lynch MiFID II Money Laundering Municipalities Negligence Oil & Gas Private Equity Private Equity Funds Restitution Retirement Plan UBS US v Newman 28 USC 1331 401k Abuse of Discretion Admissions of Liability Adverse Employment Action Annual Reports Arbitration Arbitration Awards Asset Freeze Asset Management Asset-Backed Securities Audits Barclays Bear Sterns Business Valuations Capital Markets Capital One CFOs Commodities Exchange Act Countrywide Defamation Derivative Suit Discovery Rule Dismissals Due Diligence E*Trade Employee Benefits Energy Sector Enforcement Statistics European Securities and Markets Authority (ESMA) Exclusive Jurisdiction Executive Compensation Expungement Federal Jurisdiction Federal Reserve FHFA Fifth Amendment Final Rules Financial Adviser Forfeiture Fourth Amendment GAAP Gartenberg Factors Government Investigations Halliburton Harbinger Capital Partners LLC Hiring & Firing Illegal Tipping Internal Controls Internal Revenue Code (IRC) Investment Investment Company Act of 1940 Investment Funds IRS ISDA ISDA Master Agreement Jurisdiction Libor Liquidity Malicious Prosecution Mandatory Victim's Restitution Act Market Abuse Mary Jo White Material Nonpublic Information Merrill Lynch v Manning Mortgages Motion for Summary Judgment Municipal Advisers Negligent Misrepresentation No-Action Relief OCIE Offering Fraud Ontario Securities Commission (OSC) PCAOB Personal Benefit Presumption of Reliance Price Manipulation Private Right of Action Professional Liability Proposed Regulation Public Officials Putative Class Actions Registration Requirement Regulation SHO Regulatory Agenda Remand Repurchases Retroactivity Reversal Risk Assessment Section 304 Shareholder Litigation Split of Authority Stocks Transparency Trump Administration Underwriting Unregistered Securities US Bancorp Vacated Valuation Warrantless Searches Wells Fargo Whistleblower Protection Policies 12b-1 plan Abuse of Power Acquisitions Actual Malice Administrative Hearings Administrative Proceedings Administrative Review Board Affirmative Defenses Aiding and Abetting AIG AIM ALJ Allstate American Bankers Association Anti-Competitive Apple Appointments Clause Argentina Arms Length Transactions Article II Asset Valuations Assignments Assured Guaranty Corp. ATMs Attorney Generals Auditors Australian Securities and Investments Commission Auto Manufacturers Automotive Industry Bad Faith Bank of New York (BNY) Mellon Banks Beneficial Owner Benefit Plan Sponsors Bilateral Investment Treaties Blockchain Board Deferance Bond Financing Bonds Breach of Warranty BRRD Business Litigation C-Suite Executives CalPERS v ANZ Securities Canada Casinos Cease and Desist Orders Cell Phones Certiorari CFPB Charitable Organizations Chief Compliance Officers Clear and Convincing Evidence Clinical Trials CME Collateralized Loan Obligations Comcast v. Behrend Comment Period Commercial Court Companies Act Compensatory Damages Confidential Information Consent Order Consolidated Audit Trail Consumer Financial Products Consumer Reporting Agencies Contract Interpretation Contract Termination Convertible Bonds Convertible Notes Convictions Corporate Misconduct Corporate Officers Corruption Court-Appointed Receivers Credit Agreements Credit Cards Credit Default Swaps Credit Reporting Agencies Crime Victims Cross Motions CTA Customer Due Diligence (CDD) Dark Pool Date of Valuation Debt Debt Financing Debt Restructuring Debt Securities Debtors Deceptive Intent Deferred Prosecution Agreements Defined Contribution Plans Delaware General Corporation Law Dell Department of Business Oversight Disclosure Dismissal With Prejudice Diversity Document Productions Drinking Water Duty of Care Elder Abuse EMIR Enforcement Authority Enforcement Guidance EPA Equitable Estoppel Equitable Surcharge Equitable Tolling Equity Compensation Ethics Breach EU Market Abuse Regulation (EU MAR) European Banking Authority Evidence Examination Priorities Exploitation Extraterritoriality Rules Failure To Disclose Fair Market Value False Advertising False Claims Act (FCA) False-Certification of Conformance Fannie Mae FCRA FDIC Fee-Shifting Fees FERC Fiat Fiduciary Rule Financial Abuse Financial Reporting First Derivative Traders Florida Foreign Banks Foreign Corporations Foreign Investment Foreign Nationals Foreign Official Form ADV Forum Fraud-on-the-Market Fraudulent Transfers Freddie Mac Germany Global Systemically Important Financial Institutions (GSIFI) Guilty Pleas Halliburton v Erica P. John Fund Hewlett-Packard HKEx Hong Kong HSBC Indemnification Indemnity Independence Rules India Inflation Adjustments Information Reports Institutional Investors Interest Rate Adjustments Interlocutory Orders Internal Reporting International Arbitration International Litigation Investigations Investor Protection Janus Capital Group Judicial Review Judicial Settlement Agreements Jury Trial Jury Verdicts KPMG Law Enforcement Legal Advice Privilege Lehman Brothers Leveraged Buyout Litigation Hold Living Will Lloyds of London Loan Market Association Loans Market Manipulation Market Participants Material Misstatements Member State Minerals Minority Shareholders Misleading Statements Money Transmission Act Money Transmitter Motion to Dismiss Motion To Strike Motion to Vacate MSRB Multiemployer Plan Municipal Securities Issuers Natural Resources NCUA New Regulations New York Times News Stories No-Action Letters Non-Prosecution Agreements NRSRO NSA NYDFS Obstruction of Justice Offsets Offshore Companies Omissions Order to Stay Patriot Act Pay-To-Play PBGC Perjury Personal Liability Petition for Writ of Certiorari Pharmaceutical Industry Portfolio Managers Post-Judgment Enforcement Actions Preemption Pricing Private Fund Limited Partnerships (PFLPs) Private Funds Privately Held Corporations Privileged Documents Probable Cause Professional Misconduct Proposed Amendments Proprietary Trading Protected Activity Protective Covenants Proxy Put Prudential Regulation Authority Public Employees Public Offerings Qualcomm Qualified Purchaser Qualified Retirement Plans Rajat Gupta Rare Earth Metals Rating Agencies Real Estate Investments Receivership Reformation Registered Investment Advisors Regulation A Relators Remediation REMIC Representations and Warranties Resource Extraction Restraining Orders Retirement Retroactive Application Right to Privacy Right to Remain Silent Risk Retention Rival Director Slate Rule 10(b) Rule 10b-5 S&P SAC Capital Safe Harbors Scheme of Arrangement Scienter Section 10(b) Section 11 Section 1504 Section 162(f) Section 36(b) Section 409A Section 5 Securities Act Serious Fraud Office Servicing Agreements SFC Shareholders' Agreements Short Sales Short Selling Singapore SIPA SIPC Solicitor General Specific Performance SRO Stanford Ponzi Scheme State Law Claims Statistical Sampling Statute of Repose Stock Drop Litigation Stock Purchase Agreement Strategic Enforcement Plan Sub-advisers Subject Matter Jurisdiction Subprime Mortgages Subsidiaries Summit Energy Sun Capital Partners Suspensions & Debarments Suspicious Activity Reports (SARs) Swap Agreements Target Company Tax Deductions Tax Fraud Tax Increment Financing Tax Returns Tax-Exempt Bonds Telecommunications Tender Offers Termination Tesco Third-Party Service Provider Tippees Title Insurance Tolling Agreement Total Shareholder Return (TSR) Trade Libel Tranche Transfer Agents Treble Damages Trust Preferred Securities UK Brexit Unjust Enrichment US Bank Veto Rights Virtual Currency Volcker Rule Volkswagen Wachovia Waiting Periods Warrants Wash Sale Rules Wash Trades Washington Mutual Water Willful Misconduct Wiretapping Withdrawal Liability Yahoo!